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Alector, Inc. — Director's Dealing 2020
Feb 10, 2020
33290_dirs_2020-02-10_80e8da82-df97-4347-9f88-ef54d234c748.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Alector, Inc. (ALEC)
CIK: 0001653087
Period of Report: 2020-02-06
Reporting Person: Yu Calvin (Vice President, Finance)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2020-02-06 | Common Stock | M | 1096 | $8.16 | Acquired | 126390 | Direct |
| 2020-02-06 | Common Stock | M | 725 | $10.14 | Acquired | 127115 | Direct |
| 2020-02-06 | Common Stock | S | 2621 | $35.00 | Disposed | 124494 | Direct |
| 2020-02-07 | Common Stock | M | 2825 | $8.16 | Acquired | 127319 | Direct |
| 2020-02-07 | Common Stock | M | 7400 | $10.14 | Acquired | 134719 | Direct |
| 2020-02-07 | Common Stock | S | 24033 | $35.02 | Disposed | 110686 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2020-02-06 | Stock Option (right to buy) | $8.16 | M | 1096 | Disposed | 2028-07-01 | Common Stock (1096) | Direct |
| 2020-02-06 | Stock Option (right to buy) | $10.14 | M | 725 | Disposed | 2028-11-05 | Common Stock (725) | Direct |
| 2020-02-07 | Stock Option (right to buy) | $8.16 | M | 2825 | Disposed | 2028-07-01 | Common Stock (2825) | Direct |
| 2020-02-07 | Stock Option (right to buy) | $10.14 | M | 7400 | Disposed | 2028-11-05 | Common Stock (7400) | Direct |
Footnotes
F1: The sales reported by the Reporting Person were effected pursuant to a Rule 10b5-1 trading plan.
F2: The sale price reported in column 4 of Table I represents the weighted average sale price of the shares purchased ranging from $35.00 to $35.13 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price.
F3: One forty-eighth (1/48th) of the shares subject to the option vested on August 2, 2018, and an additional one forty-eighth (1/48th) of the shares subject to the option shall vest each month thereafter.
F4: One fourth (1/4th) of the shares subject to the option vested on November 1, 2019, and one forty-eighth (1/48th) of the shares subject to the option shall vest each month thereafter.